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2019 | Sustainability Report
Caterpillar's Environmental,
Social and Governance Approach

ESG Data Center

  Baseline
2006
2016 2017 2018 2019 Goal
2020
Perspective
Total number of employees Baseline 2006: N/A 2016: 95,400 2017: 98,400 2018: 104,000 2019: 102,300 2020: N/A
Number of employees outside of the United States Baseline 2006: N/A 2016: 54,500 2017: 56,200 2018: 59,400 2019: 58,700 2020: N/A
Women in enterprise Baseline 2006: N/A 2016: 20% 2017: 20% 2018: 20% 2019: 20% 2020: 29%
(2022)
Perspective: Our Women in Leadership initiative is an intentional, focused step on a continuous journey toward a globally diverse team. We have set an aspirational goal of 29% women in the enterprise and 25% women in leadership by 2022.
Women in Leadership Baseline 2006: N/A 2016: 19% 2017: 19% 2018: 19% 2019: 20% 2020: 25%
(2022)
Perspective: Our Women in Leadership initiative is an intentional, focused step on a continuous journey toward a globally diverse team. We have set an aspirational goal of 29% women in the enterprise and 25% women in leadership by 2022.
Collective bargaining
% of employees covered
Baseline 2006: N/A 2016: 34% 2017: 41% 2018: 40% 2019: 41% 2020: N/A Perspective: We respect the right of our employees to form, join or not to join any lawful organization of their choice without fear of reprisal, interference, intimidation or harassment. We believe it is important for individuals to exercise that right with the benefit of available information.
  Baseline
2006
2016 2017 2018 2019 Goal
2020
Perspective
Lost-time case frequency rate (LTCFR)/A/
worker-related injuries resulting in lost time per 200,000 hours worked
Baseline 2006: 2.97
(2003)
2016: 0.19 2017: 0.17 2018: 0.16 2019: 0.15 2020: 0.15 Perspective: We have improved our lost-time case frequency rate (LTCFR) by 95% from our 2003 base year. We are encouraged that our LTCFR declined by approximately 6% from 2018 to 2019.
Recordable injury frequency (RIF)/A/
recordable injuries per 200,000 hours worked
Baseline 2006: 6.22
(2003)
2016: 0.50 2017: 0.49 2018: 0.53 2019: 0.43 2020: 0.60 Perspective: We have improved our recordable injury frequency (RIF) rate by 93% from our 2003 base year. Our RIF decreased by 19% from 2018 to 2019.
Employee fatalities Baseline 2006: N/A 2016: 2 2017: 0 2018: 1 2019: 0 2020: N/A Perspective: Our vision of everyone returning home safely, every day has not waivered. We are saddened to report one of our contractors suffered a fatal workplace injury in one of our facilities in 2019. We are dedicated to the safety of everyone working at Caterpillar. We encourage our extended team of contractors, dealers, suppliers and customers to focus on safety for their operations and employees.
Contractor fatalities Baseline 2006: N/A 2016: 0 2017: 0 2018: 1 2019: 1 2020: N/A Perspective: Our vision of everyone returning home safely, every day has not waivered. We are saddened to report one of our contractors suffered a fatal workplace injury in one of our facilities in 2019. We are dedicated to the safety of everyone working at Caterpillar. We encourage our extended team of contractors, dealers, suppliers and customers to focus on safety for their operations and employees.
  Baseline
2006
2016 2017 2018 2019 Goal
2020
Perspective
Total energy use/A/
gigajoules1
Baseline 2006: 28,720,000 2016: 23,050,000 2017: 23,690,000 2018: 25,540,000 2019: 25,330,000 2020: N/A Perspective: We're making strides to lower our energy use and improve energy efficiency.
Total electricity/A/
million MWh
Baseline 2006: N/A 2016: 2.37 2017: 2.45 2018: 2.55 2019: 2.38 2020: N/A Perspective: We're making strides to lower our energy use and improve energy efficiency.
Grid electricity
%
Baseline 2006: N/A 2016: N/A 2017: N/A 2018: N/A 2019: 83.8 2020: N/A Perspective: In 2019, Caterpillar began reporting grid electricity data based on SASB recommendations. Data for years prior is not available.
Renewable energy2
%
Baseline 2006: N/A 2016: 17.8 2017: 16.9 2018: 17.4 2019: 21.2 2020: 20 Perspective: In 2019, 35.5% of our electrical energy was obtained from renewable or alternative sources, exceeding our 2020 goal.
Alternative energy3
%
Baseline 2006: N/A 2016: 10.1 2017: 14.3 2018: 15.1 2019: 14.3 2020: 20 Perspective: In 2019, 35.5% of our electrical energy was obtained from renewable or alternative sources, exceeding our 2020 goal.
Energy intensity/A/
absolute gigajoules energy use/million dollars of sales and revenues
Baseline 2006: 692 2016: 598 2017: 521 2018: 467 2019: 471 2020: 346 Perspective: In 2019 we reduced our energy intensity by 32% from our 2006 baseline.
  Baseline
2006
2016 2017 2018 2019 Goal
2020
Perspective
Absolute greenhouse gas/A/(GHG) emissions
million metric tons CO2e
Baseline 2006: 2.990 2016: 2.128 2017: 2.119 2018: 2.207 2019: 1.774 2020: N/A Perspective: Our absolute GHG emissions decreased by 20% from 2018 to 2019 and decreased by 41% from 2006 to 2019.
Scope 1/A/ Direct emissions
million metric tons
Baseline 2006: N/A 2016: 0.863 2017: 0.863 2018: 0.927 2019: 0.905 2020: N/A Perspective: Our absolute GHG emissions decreased by 20% from 2018 to 2019 and decreased by 41% from 2006 to 2019.
Scope 2/A/ Market-based indirect emissions from purchased electricity, heat or steam
million metric tons
Baseline 2006: N/A 2016: 1.265 2017: 1.256 2018: 1.280 2019: 0.869 2020: N/A Perspective: Our absolute GHG emissions decreased by 20% from 2018 to 2019 and decreased by 41% from 2006 to 2019.
Scope 2/A/
Location-based4
million metric tons
Baseline 2006: N/A 2016: 1.314 2017: 1.291 2018: 1.322 2019: 0.926 2020: N/A Perspective: Our absolute GHG emissions decreased by 20% from 2018 to 2019 and decreased by 41% from 2006 to 2019.
GHG intensity5 /A/
absolute metric tons of CO2e/million dollars of sales and revenues
Baseline 2006: 72.1 2016: 54.2 2017: 46.4 2018: 40.4 2019: 33.0 2020: 36.0 Perspective: In 2019 we reduced our GHG emissions intensity by 54% from our 2006 baseline, achieving our 2020 goal.
  Baseline
2006
2016 2017 2018 2019 Goal
2020
Perspective
Total water/A/
billion gallons
Baseline 2006: 5.91 2016: 3.87 2017: 4.04 2018: 3.85 2019: 3.74 2020: N/A Perspective: In 2019 we reduced our absolute water consumption by 37% from our baseline year of 2006 and 3% from 2018 to 2019.
Noncontact cooling water/A/ billion gallons Baseline 2006: 2.74 2016: 1.37 2017: 1.40 2018: 1.26 2019: 1.31 2020: N/A Perspective: In 2019 we reduced our absolute water consumption by 37% from our baseline year of 2006 and 3% from 2018 to 2019.
Total water consumption by source6            
Non-contact cooling water/A/ Baseline 2006: N/A 2016: 35.0% 2017: 34.7% 2018: 32.8% 2019: 35.2% 2020: N/A Perspective: In 2019 we reduced our absolute water consumption by 37% from our baseline year of 2006 and 3% from 2018 to 2019.
Municipal water/A/ Baseline 2006: N/A 2016: 28.0% 2017: 28.7% 2018: 30.6% 2019: 30.8% 2020: N/A Perspective: In 2019 we reduced our absolute water consumption by 37% from our baseline year of 2006 and 3% from 2018 to 2019.
Surface water/A/ Baseline 2006: N/A 2016: 15.0% 2017: 16.8% 2018: 18.3% 2019: 18.0% 2020: N/A Perspective: In 2019 we reduced our absolute water consumption by 37% from our baseline year of 2006 and 3% from 2018 to 2019.
Other water/A/ Baseline 2006: N/A 2016: 0.0% 2017: 0.2% 2018: 0.4% 2019: 0.7% 2020: N/A Perspective: In 2019 we reduced our absolute water consumption by 37% from our baseline year of 2006 and 3% from 2018 to 2019.
Groundwater/A/ Baseline 2006: N/A 2016: 22.0% 2017: 19.5% 2018: 17.9% 2019: 15.4% 2020: N/A Perspective: In 2019 we reduced our absolute water consumption by 37% from our baseline year of 2006 and 3% from 2018 to 2019.
Water consumption intensity7 /A/
absolute thousand gallons of water/million dollars of sales and revenues
Baseline 2006: 76.3 2016: 66.0 2017: 58.1 2018: 47.3 2019: 45.0 2020: 38.2 Perspective: Through 2019, we have reduced water consumption intensity at our facilities by a total of 41% from 2006, and 5% from 2018 to 2019.
  Baseline
2006
2016 2017 2018 2019 Goal
2020
Perspective
Total waste
metric tons
Baseline 2006: 574,000 2016: 560,000 2017: 599,000 2018: 635,000 2019: 587,000 2020: N/A Perspective: Our generation of total absolute by-product materials increased 2% from 2006 to 2019 but decreased 8% from 2018 to 2019.
Waste intensity
absolute metrics tons of by-product materials/million dollars of sales and revenues
Baseline 2006: 13.8 2016: 14.5 2017: 13.2 2018: 11.6 2019: 10.9 2020: 6.9 Perspective: In 2019, we reduced our waste intensity by 21% from our 2006 baseline and decreased 6% from the previous year. Also, we are pleased to see the percent of our waste recycled continue to increase year-over-year.
Waste recycled
%
Baseline 2006: 84.1 2016: 82.8 2017: 83.5 2018: 86.8 2019: 87.1 2020: N/A Perspective: In 2019, we reduced our waste intensity by 21% from our 2006 baseline and decreased 6% from the previous year. Also, we are pleased to see the percent of our waste recycled continue to increase year-over-year.
  Baseline
2006
2016 2017 2018 2019 Goal
2020
Perspective
Reported sales and revenues8
derived from products, services and solutions that demonstrate an improved sustainability benefit over prior offerings
Baseline 2006: N/A 2016: 21% 2017: 21% 2018: 22% 2019: 27% 2020: N/A Perspective: Caterpillar has a long history of and a strong process for innovation in the research and development of products and solutions.
Fleet hours9
increase in fleet hours managed by Job Site Solutions since 2013
Baseline 2006: N/A 2016: 98% 2017: 124% 2018: 280% 2019: 510% 2020: 100% Perspective: Caterpillar Job Site Solutions (JSS) helps customers realize savings through reduced operator and repair needs, as well as decreased fuel use and associated emissions. Demand from our customers continues to grow for solutions provided by our JSS team working together with our Cat® dealers.
Service agreements
increase in machines covered by service agreements with Job Site Solutions since 2013
Baseline 2006: N/A 2016: 126% 2017: 151% 2018: 321% 2019: 501% 2020: N/A Perspective: Caterpillar Job Site Solutions (JSS) helps customers realize savings through reduced operator and repair needs, as well as decreased fuel use and associated emissions. Demand from our customers continues to grow for solutions provided by our JSS team working together with our Cat® dealers.
  Baseline
2006
2016 2017 2018 2019 Goal
2020
Perspective
Supplier Code of Conduct self-assessments Baseline 2006: N/A 2016: 13% 2017: 39% 2018: 39% 2019: 67% 2020: 95% Perspective: Since 2016, Caterpillar has proactively surveyed our priority supply base to confirm alignment to Caterpillar’s published Supplier Code of Conduct. Caterpillar uses assessment response data to address supply chain risk through a collaborative approach with responding suppliers. The 2020 target reflects continued focus on this initiative.
  Baseline
2006
2016 2017 2018 2019 Goal
2020
Perspective
Growth in remanufacturing business10
% business sales growth since 2013
Baseline 2006: N/A 2016: -13% 2017: 2% 2018: 7% 2019: 3% 2020: 20% Perspective: Our remanufacturing and rebuild businesses provide customers with immediate cost savings, help extend product life cycles and use materials more efficiently. We seek to continue to grow these businesses.
Growth in rebuild business10
% business sales growth since 2013
Baseline 2006: N/A 2016: -10% 2017: 14% 2018: 17% 2019: 14% 2020: 20% Perspective: Our remanufacturing and rebuild businesses provide customers with immediate cost savings, help extend product life cycles and use materials more efficiently. We seek to continue to grow these businesses.
Product take-back
by weight10,11
millions of pounds of end-of-life material received
Baseline 2006: N/A 2016: 125 2017: 130 2018: 155 2019: 153 2020: N/A Perspective: Our remanufacturing and rebuild businesses provide customers with immediate cost savings, help extend product life cycles and use materials more efficiently. We seek to continue to grow these businesses.
Product take-back
by %10,11
% of actual end-of-life returns/eligible returns
Baseline 2006: N/A 2016: 91% 2017: 92% 2018: 92% 2019: 91% 2020: N/A Perspective: Our remanufacturing and rebuild businesses provide customers with immediate cost savings, help extend product life cycles and use materials more efficiently. We seek to continue to grow these businesses.
  Baseline
2006
2016 2017 2018 2019 Goal
2020
Perspective
Buildings designed
in accordance with the U.S. Green Building Council’s LEED BD+C (Building Design and Construction) certification process of comparable criteria
Baseline 2006: N/A 2016: 100% 2017: 100% 2018: 100% 2019: 100% 2020: 100% Perspective: Facilities designed to the LEED criteria are more energy- and resource-efficient than traditional construction. In 2019, we completed construction of our new Surface Mining & Technology office in Tucson, Arizona. The new building met the requirements of certification in accordance with the U.S. Green Building Council’s LEED BD+C (Building Design and Construction) process.
  Baseline
2006
2016 2017 2018 2019 Goal
2020
Perspective
Community investments
millions of dollars
Baseline 2006: N/A 2016: $36.8 2017: $33 2018: $27 2019: $28.6 2020: N/A Perspective: Since 1952, the Caterpillar Foundation has contributed about $770 million to help make sustainable progress possible around the world by building resilient communities that thrive in a rapidly changing world.
People impacted (cumulative)
millions
Baseline 2006: N/A 2016: 38.6 2017: 46.5 2018: 48.1 2019: 50.1 2020: 50 Perspective: In 2013, the Caterpillar Foundation set out to place 50 million people on the path to prosperity by 2020. Together with our nonprofit partners, we are proud of the impact we’ve had on individuals and in communities around the world.
Matching gifts9,12
millions of dollars
Baseline 2006: N/A 2016: $3.2 2017: $6.0 2018: $4.1 2019: $3.5 2020: N/A Perspective: The Caterpillar Foundation is proud to match our U.S. employees, retirees and board of directors’ contributions to eligible organizations.
United Way13
millions of dollars
Baseline 2006: N/A 2016: $11.5 2017: $11.4 2018: $11.8 2019: $12.2 2020: N/A Perspective: Caterpillar has supported the United Way for more than 60 years through our annual campaign. The Foundation matches employee and retiree gifts during the campaign, amplifying our impact on the communities where we live and work.

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